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NFA Compliance Rule 2-9(c) and its related Interpretive Notice entitled FCM and IB Anti-Money Laundering Program require each futures commission merchant (FCM) and introducing broker (IB) to develop and implement a written anti-money laundering (AML) program designed to achieve and monitor ...

On April 27, 2018, the Financial Crimes Enforcement Network (FinCEN) issued an Advisory announcing that the Financial Action Task Force (FATF) had updated its list of jurisdictions with strategic AML/CFT deficiencies. NFA Member FCMs and IBs should review this Advisory to ensure that their AML ...

NFA is committed to providing its Members with the resources they need to meet their regulatory obligations as efficiently as possible. This Notice to Members serves as a reminder that Members can access information on certain annual and ongoing requirements from the Members section of NFA's ...

NFA's Annual Questionnaire provides important information regarding Members' business activities and operations. NFA has added a number of questions to the swap dealer (SD) Annual Questionnaire, which will provide NFA with information that was previously collected during the course of its ...

At its February meeting, NFA's Board of Directors re-elected Michael C. Dawley, Goldman Sachs & Co., to serve a one-year term as Chairman. The Board also re-elected Maureen C. Downs, Phillip Capital Inc., to serve as Vice-Chairman. In addition, the Board elected the following individuals ...

On February 9, 2018, the Financial Crimes Enforcement Network (FinCEN) issued an Advisory announcing that the Financial Action Task Force (FATF) had updated its list of jurisdictions with strategic AML/CFT deficiencies. NFA Member FCMs and IBs should review this Advisory to ensure that their AML ...

NFA would like to inform CPOs that two additional yes/no questions regarding virtual currency activities have been added to the annual pool financial statement cover page, which can be accessed through EasyFile (Annual Reports). These changes are effective for pool financial statements as of ...

The Commodity Futures Trading Commission (CFTC) recently approved NFA's amendments to NFA Compliance Rules 2-36 and 2-43. The amendments apply to forex dealer members (FDM) and will be effective on April 5, 2018. Required disclosures to be made on a per-trade basis The amendments to NFA ...

The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an exemption from CTA registration under 4.14(a)(8) (collectively, exemption) to annually ...

Submission of standardized data for swap valuation dispute notices In January 2016, the CFTC issued an order authorizing NFA to receive, review, maintain and serve as the official custodian of swap valuation dispute notices that swap dealers (SD) are required to file pursuant to Regulation 23.502(c ...

This is a reminder that the following futures commission merchant (FCM) and retail foreign exchange dealer (RFED) regulatory filings will be impacted as follows by the Christmas and New Year's Day holidays: Christmas Day-December 25, 2017 Daily segregated, 30.7 secured, cleared swaps customer ...

A number of CFTC-regulated trading venues have launched or announced plans to offer derivatives on virtual currency products, including bitcoin. Given the volatility in the underlying virtual currency products, NFA is requiring each CPO and CTA to immediately notify NFA if it executes a transaction ...

A number of CFTC-regulated trading venues have launched or announced plans to offer derivatives on virtual currency products, including bitcoin. Given the volatility in the underlying virtual currency products, NFA is requiring each IB to immediately notify NFA if it solicits or accepts any orders ...

Effective January 1, 2018, NFA's assessment fee will increase from $0.01 per side to $0.02 per side, for futures and options contracts. The decision to increase the assessment fee was made after a thorough review of all relevant issues by NFA's Board, Executive Committee and Finance ...

This Notice was issued to FCM Members for which NFA is the DSRO. A number of CFTC regulated futures exchanges have announced plans to offer futures contracts on virtual currency products, including Bitcoin. Given the volatility in the underlying virtual currency products, NFA is requiring each FCM ...

The CFTC requires any person that claims an exemption from CPO registration under CFTC Regulation 4.13(a)(1), 4.13(a)(2), 4.13(a)(3), 4.13(a)(5), an exclusion from CPO registration under CFTC Regulation 4.5 or an exemption from CTA registration under 4.14(a)(8) (collectively, exemption) to annually ...

The terms of five of NFA's current Public Representatives-Andrea M. Corcoran, Ronald H. Filler, Jim Marshall, Mary M. McDonnell and Michael H. Moskow-will expire at the Board of Directors' (Board) regular Annual Meeting on February 15, 2018. NFA is asking for nominations to fill the five ...

The Financial Industry Regulatory Authority (FINRA) notified NFA that it will increase its fees for the administration and delivery of NFA's qualifications examinations on January 1, 2018. On this date, the fee for an individual to take the Series 3: National Commodity Futures Examination will ...

In accordance with NFA Bylaw 406, the Office of the Secretary has received from the 2017 Nominating Committee a list of its nominees for positions on NFA's Board of Directors and 2018 Nominating Committee. The list of nominees included with this notice shall serve as notification to NFA ...

On October 19, NFA's Executive Committee voted to recommend to NFA's Board of Directors (Board) an increase in NFA's assessment fee from $0.01 per side to $0.02 per side for futures and options contracts. The decision to recommend an assessment fee increase was made after a thorough ...

Submission of standardized data for swap valuation dispute notices In January 2016, the CFTC issued an order authorizing NFA to receive, review, maintain and serve as the official custodian of swap valuation dispute notices that swap dealers (SD) are required to file pursuant to Regulation 23.502(c ...